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PRINCIPAL SECURITIES, INC.
CRD 1137 · SEC 801-54949
711 HIGH STREET, DES MOINES, IA, 50392, United States
Phone
888-774-6267
Fax
515-235-9235
Registration
Registered (APPROVED)
Source
SEC registered
Total AUM
$17.02B
Discretionary AUM
$14.15B
Team
1464 total employees; 1464 advisory reps; 1717 broker-dealer reps
Clients
More than 500
Fees
Percentage of AUM; Hourly charges; Fixed fees; SEMINAR FEES, SOLICITORS FEES, SUBSCRIPTION CONSULTING FEES
Org form
Corporation
Filing date
2026-03-30
Disciplinary history
Yes
Services
Financial planningPortfolio management (individuals)Portfolio management (institutions)Pension consultingSelection of other advisersEducational seminars
Client types
| Type | Clients | AUM |
|---|---|---|
| Individuals | 49012 | $11.21B |
| High net worth individuals | 2638 | $5.53B |
| Pension/profit sharing plans | 29 | $20.3M |
| Charitable organizations | 41 | $77.7M |
| Corporations/business entities | 221 | $189.2M |
States served
VT, AL, AK, AZ, AR, CA, CO, DE, DC, GA, ID, IL, IN, IA, KS, KY, LA, ME, MD, MA, MI, MN, MS, MT, NE, NV, NJ, NM, NY, NC, ND, OH, OK, OR, PA, RI, SC, TN, UT, VA, WV, WI, WY, MO, WA, TX, NH, HI, CT, FL, SD
All web addresses on file
- HTTPS://X.COM/PRINCIPAL
- HTTPS://WWW.LINKEDIN.COM/COMPANY/PRINCIPALFINANCIALGROUP
- HTTPS://YOUTUBE.COM/PRINCIPALFINANCIAL
- HTTPS://WWW.PRINCIPAL.COM/
- HTTP://WWW.PRINCIPALSECURITIES.COM/
- HTTPS://WWW.INSTAGRAM.COM/PRINCIPAL
- HTTPS://FACEBOOK.COM/PRINCIPALFINANCIAL
- HTTPS://TWITTER.COM/PRINCIPAL
- HTTPS://WWW.PINTEREST.COM/PRINCIPALFINANCIALGROUP
- HTTPS://WWW.REDDIT.COM/USER/PRINCIPAL/
Official SEC filing: View on IAPD